Breton Hill Capital Ltd (Toronto, Ontario)

Name: Breton Hill Capital Ltd
Address: 2 Bloor Street East,, Toronto, Ontario, M4 W 1 A8
Telephone: 647-347-9371

Breton Hill Capital Ltd is a large advisory firm based in Toronto, Ontario. It manages $2.03 billion of regulatory assets for 32 client accounts. It has been registered with the SEC as an adviser since 2016.

Breton Hill Capital provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Breton Hill Capital: assets under management

The assets under management (AUM) of Breton Hill Capital Ltd is $2.03 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 73% since the beginning of its operation, and $2.03 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $2.03 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $63.56 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Breton Hill Capital Ltd for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Breton Hill Capital serves?

The only and largest group of clients of Breton Hill Capital is pooled investment vehicles with 29 clients and $1.94 billion of assets under management. Among the 12 most similar advisory firms, Breton Hill Capital has the 6th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.94 billion for 29 clients. 100% of the firm’s clients are foreign persons or businesses.

Breton Hill Capital also advises several private funds. Namely, three hedge funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Breton Hill Capital Ltd

The company employs 14 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Nb Acquisitionco Ulc joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Raymond Bernard Carroll	Chief executive officer	1 Apr 2010	Other	5863755
Simon Jeremy Griffiths	Managing partner, head of research	1 Apr 2010	25% - 50%	5863757
Frank Shinji Maeba	Managing partner, head of trading	1 Apr 2010	25% - 50%	5863758
Gideon Ilan Schapiro	Vice president of research and trading	1 Apr 2010	Other	5986431
Evgeny Nmn Dunaevsky	Chief compliance officer and senior vice president	1 Jun 2015	Other	6697378
Evgeny Dunaevsky	Chief financial officer, chief compliance officer	1 Jun 2015	Other	6697378
Nb Acquisitionco Ulc	Shareholder	1 Nov 2017	75% - 100%	98-1389652
William Alfred Arnold	Chief financial officer	1 Nov 2017	Other	3114495

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Nbsh Acquisition	Member	1 May 2009	75% - 100%	26-4383171
Neuberger Berman Canada Holdings Llc	Shareholder	1 Nov 2017	75% - 100%	pending
Neuberger Berman Group Llc	Member	1 Nov 2017	75% - 100%	61-1591182

Based in Toronto, Ontario

The principal office where Breton Hill Capital Ltd performs its advisory services is located at 2 Bloor Street East,, Toronto, Ontario, M4 W 1 A8, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 647-347-9371 or by fax 1-888-487-9903. The normal business hours are 9-6pm on Monday - Friday. You can find more information about the New York firm at nb.com/bretonhill.